Registration Lifecycle Service

Compliance Program Design and Implementation, Registration, and Ongoing Compliance Support

 

Bates Compliance’s Registration Lifecycle Service provides new advisors with peace of mind, helping you meet your regulatory requirements from day one. Bates Compliance takes a holistic approach to the registration process by first working with your firm to design, create and implement the firm’s compliance program prior to completing your registration. The SEC (as well as state regulators) will expect that, upon approval, your firm is meeting all the regulatory requirements.

Your Bates Compliance Consultant(s) will work closely with your firm to design a compliance program tailored to meet your firm’s specific compliance needs with items such as:
  • Customized Policies and Procedures Manual
  • Customized Code of Ethics Manual
  • Firm-specific Privacy Policy
Your consultant will then work with you to review the services your firm will be providing and to prepare to register your firm with the designated regulatory body:
  • Registration with the SEC or the state of domicile
  • Preparation and filing of Form ADV Part 1and drafting the ADV Part 2 brochure
  • Registration of principals, officers and advisory reps, as needed (up to 4)
  • Review of advisory contracts
Once the firm is approved, your consultant will then be available to assist you throughout the balance of the engagement to:
  • Prepare, amend, or renew your federal and state regulatory documents
  • Develop and maintain new and existing policies, as needed
  • Review your website, advertising and marketing materials, as needed
  • Review business practices
  • Conduct custody assessments
  • Develop and offer updates to supervisory procedures
  • Perform due diligence reviews of third party vendors
  • Act as your IARD account administrator and file the annual amendment
  • Review and amend Form ADV, as needed
  • Conduct Rule 206(4)-7 annual review
  • Provide ongoing compliance support on an as-needed basis
  • Create and Review Your Disaster Recovery Plan
  • Create and Review Your Business Continuity Plan

Bates Compliance is able to provide your firm with comprehensive compliance support or stand-alone registration and project services. Contact us today and let us show you the Bates Group difference.

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group

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